John Guy Ullman
Investment Adviser Representative at JOHN G. Ullman & Associates, Inc
Professional summary
Compiled by AdvisorFinder from public regulatory records. This advisor has not provided a personal biography.
John Guy Ullman is an investment adviser representative with JOHN G. Ullman & Associates, Inc in Corning, NY, where they have been registered since 1990, the year they entered the securities industry. They have passed 3 industry qualification exams, including the Series 65 (investment adviser) and Series 63 (state securities agent). They are registered to provide investment advice in New York and Texas.
Office
Advisors at this office: 2
Branch office as filed with FINRA, counting current advisors in the directory who work there.
Registrations & licenses
- Investment adviser:
- New York, Texas
Registration requirements vary by state and service. Contact the advisor's firm to confirm whether they can serve you.
Financial-firm registration history
Registration history as reported to FINRA, most recent first.
Reported employment history
Employment the advisor reported on their SEC/FINRA filings, as of October 8, 2026. It may not be a complete history.
- JOHN G. Ullman & Associates, Inc.Aug 1978 – no end date reportedCorning, NY
- #IA JOHN G. Ullman AND Associates, Inc.Aug 1978 – no end date reportedCorning, NY
- U S G M Securities, Inc.Aug 1978 – no end date reportedCorning, NY
- USGM Securities IncMay 1986 – no end date reportedCorning, NY
Official records & sources
Data as of May 30, 2026 · Source: SEC IAPD & FINRA BrokerCheck
About JOHN G. Ullman & Associates, Inc
These details describe the firm overall. Individual advisors' services, clients, and fees may differ.
Fee arrangements the firm reports
- Percentage of assets under management
- Firm account minimum
- $250,000 (waivable)
- First $1,000,0002.00%
- Second $1,000,0001.75%
- Third $1,000,0001.50%
- Fourth $1,000,0001.25%
+6 more tiers on the firm profile
Arrangements the firm reports on its Form ADV; this advisor may not charge every fee listed. Estimated from the firm's Form ADV — individual terms may differ. Not a quote.
Services the firm offers
Client types the firm serves
Firm assets under management
$1B–$5B
- Firm disclosures (Form ADV)
- No disciplinary history reportedVerify on SEC IAPD
- Advisors listed on AdvisorFinder:
- 24
- Offices listed on AdvisorFinder:
- 4
- Main office:
- Horseheads, NY
- SEC file number:
- 801-14064
Counts reflect AdvisorFinder directory coverage, not necessarily the firm's complete network.
Form ADV data as of March 30, 2026
View full firm profileOther advisors at JOHN G. Ullman & Associates, Inc
Showing 12 of 24 in the directory
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This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. John Guy Ullman has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on BrokerCheck or SEC.gov before making any decision. AdvisorFinder may be compensated for referrals generated through this page.
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